Robert M. Finch

ROBERT M. FINCH CONSULTING

Farmington, CT

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CRD#: 2314535

Professional summary

Robert Macgregor Finch is a registered financial advisor currently at ROBERT M. FINCH CONSULTING, LLC located in Farmington, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Connecticut Historical Society Finance Committee

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Macgregor Finch's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 17, 2008 - Present

ROBERT M. FINCH CONSULTING, LLC

RIA

CRD#: 146828

Farmington, CT

Past

April 6, 1993 - January 31, 2000

AELTUS CAPITAL, INC

CRD#: 24928

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(4/17/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/5/1993

General Securities Representative Examination

Current Firm

ROBERT M. FINCH CONSULTING, LLC

CRD#: 146828 / SEC#:

Connecticut

Registered Investment Advisory firm - (4/17/2008 Approved)

Florida

Registered Investment Advisory firm - (3/7/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Bloomfield, CT

Mailing Address

Phone number

(860) 726-2156

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 3,560,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert M. Finch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Macgregor Finch's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT M. FINCH CONSULTING, LLC

AELTUS CAPITAL, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/1993

Series 7

Date: 4/5/1993

Current Firm

ROBERT M. FINCH CONSULTING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROBERT M. FINCH CONSULTING, LLC

TRUST BUT VERIFY

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